Federal Register / Vol. 76, No. 79 / Monday, April 25, 2011 / Proposed Rules 22849 

incidence of disputes and increasing the 

likelihood that disputes that do arise 

may be resolved efficiently, effectively, 

and expeditiously. Techniques used in 

the process include, but are not limited 

to, structured unassisted negotiation 

(e.g., use of interest-based negotiation 

techniques), joint or collaborative 

problem-solving, coaching, and the 

design of an integrated conflict 

management system. 

§ 83.4 Policy. 

It is DoD policy that: 

(a) The Department of Defense shall 

foster and advance collaboration and 

coordination among the DoD 

Components on the use of ADR and 

conflict management practices. 

(b) Each DoD Component shall 

establish and implement ADR 

program(s) to resolve disputes at the 

earliest possible stage of the dispute and 

at the lowest possible organizational 

level. Any dispute, regardless of subject 

matter, is a potential candidate for ADR. 

(c) DoD personnel are encouraged to 

identify and address underlying conflict 

in order to prevent and avoid disputes. 

(d) All personally identifiable 

information (PII) collected during the 

course of the ADR process shall be 

maintained and protected in accordance 

with title 32, Code of Federal 

Regulations (CFR) part 310. 

§ 83.5 Responsibilities. 

(a) The General Counsel, Department 

of Defense (GC, DoD) shall develop 

policy and provide guidance on the 

administration of ADR. 

(b) The DGC(LC), under the authority, 

direction, and control of the GC, DoD, 

shall: 

(1) Monitor the implementation of 

policies and procedures pertaining to 

the use of ADR and conflict 

management practices within the 

Department of Defense. 

(2) Establish a data collection and 

reporting system to evaluate the use of 

ADR and conflict management 

practices, as determined necessary, 

within the Department of Defense. 

(3) Provide reports, as determined 

necessary, to the Secretary of Defense on 

the use of ADR within the Department 

of Defense. 

(4) Chair the ADR Coordinating 

Committee. 

(5) Ensure that the ADR Coordinating 

Committee: 

(i) Shares information among the DoD 

Components on ADR and conflict 

management policies and practices. 

(ii) Collaborates, as needed, in the 

design and implementation of ADR and 

conflict management practices. 

(iii) Collaborates with other programs 

in the Department of Defense (e.g., 

Equal Employment Opportunity (EEO)) 

as needed to integrate ADR and conflict 

management into the normal business 

practices of the Department of Defense. 

(iv) Establishes DoD-wide working 

groups and takes other steps to 

coordinate and facilitate ADR and 

conflict management practices within 

the Department of Defense. 

(6) Ensure that the Associate Director, 

Center for Alternative Dispute 

Resolution, Defense Office of Hearings 

and Appeals: 

(i) Provides support to the DGC(LC) in 

fulfilling the duties under this part. 

(ii) Provides facilitation, 

administrative, and substantive support 

for the activities of the ADR 

Coordinating Committee. 

(iii) Represents the Department of 

Defense as a member of the Interagency 

ADR Working Group Steering 

Committee. 

(iv) Upon request of a DoD 

Component, provides consulting, 

education, and referral services for the 

design, implementation, training, and 

evaluation of ADR and conflict 

management practices. 

(v) Upon request of a DoD 

Component, designates and makes 

available third-party neutrals qualified 

to conduct ADR and conflict 

management processes specified by the 

DGC(LC). 

(c) The Director, Washington 

Headquarters Services (WHS), under the 

authority, direction, and control of the 

Director of Administration and 

Management, shall offer ADR services to 

WHS serviced customers in accordance 

with Administrative Instruction 106 (see 

http://www.dtic.mil/whs/directives/ 

corres/pdf/a106p.pdf). 

(d) The Heads of DoD Components 

shall: 

(1) Appoint a dispute resolution 

specialist as the term is used in title 5 

U.S.C. 571–584 and inform the 

Associate Director, Center for 

Alternative Dispute Resolution, of the 

appointment. 

(2) Establish, implement, and operate 

programs to expand the use of ADR and 

conflict management practices that are 

appropriate to their Component and in 

accordance with public law and DoD 

policy. 

(3) Review and revise, where 

appropriate, existing ADR and conflict 

management practices to promote 

increased awareness and use of ADR 

and conflict management consistent 

with DoD policy. 

(4) Consistent with accomplishing 

their assigned missions, actively 

promote the use of ADR and conflict 

management practices. 

(5) Identify and eliminate barriers to 

the use of ADR and conflict 

management practices. 

(6) Provide copies of Component ADR 

policies and implementing procedures 

to the Associate Director, Center for 

Alternative Dispute Resolution. 

(7) Provide representatives and 

information to the ADR Coordinating 

Committee and working groups, as 

requested. 

(8) Provide training to employees 

involved in implementing and 

maintaining the Component’s ADR 

policy and program. 

(9) Collaborate with other DoD 

Components and other offices (e.g., 

Equal Employment Office) as 

appropriate when designing and 

implementing ADR and conflict 

management policies and procedures. 

(10) Establish a data collection system 

to monitor ADR and conflict 

management practices as determined 

necessary and in compliance with the 

information requirement in § 83.6 of this 

part. 

(11) Link the Component’s ADR Web 

site, if one is established, to the ADR 

Web sites of other DoD Components as 

well as to the Interagency ADR Working 

Group Steering Committee Web site at 

http://www.adr.gov. 

(12) Use existing Government 

resources, to the extent possible, to 

avoid unnecessary expenditure of time 

and money when designing and 

implementing dispute resolution and 

conflict management programs. 

(13) Provide sufficient resources, 

including dedicated personnel 

resources, as necessary, to fulfill the 

responsibilities listed in this part. 

(14) Ensure the collection, use, and 

release of PII complies with title 5 

U.S.C. 552a as implemented by title 32 

CFR part 310. 

Dated: March 2, 2011. 

Patricia L. Toppings, 

OSD Federal Register Liaison Officer, 

Department of Defense. 

[FR Doc. 2011–9750 Filed 4–22–11; 8:45 am] 

BILLING CODE 5001–06–P 

DEPARTMENT OF DEFENSE 

Office of the Secretary 

32 CFR Part 223 

[Docket ID: DOD–2010–OS–0108] 

RIN 0790–AI64 

DoD Unclassified Controlled Nuclear 

Information (UCNI) 

AGENCY: Department of Defense 

ACTION: Proposed rule. 


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22850 Federal Register / Vol. 76, No. 79 / Monday, April 25, 2011 / Proposed Rules 

1Copies available on the Internet at http:// 

www.dtic.mil/whs/directives/corres/pdf/ 

521067p.pdf. 

2Copies available to authorized recipients from 

the Director of Classification, Department of Energy. 

SUMMARY: This rule updates policies and 

responsibilities for controlling 

Department of Defense (DoD) 

Unclassified Controlled Nuclear 

Information (UCNI) in accordance with 

the provisions of current U.S. Code. 

This revision streamlines and reflects 

current practices within the Department 

of Defense. 

DATES: Comments must be received by 

June 24, 2011. 

ADDRESSES: You may submit comments, 

identified by docket number and or RIN 

number and title, by any of the 

following methods: 

• Federal Rulemaking Portal: http:// 

www.regulations.gov. Follow the 

instructions for submitting comments. 

• Mail: Federal Docket Management 

System Office, 1160 Defense Pentagon, 

OSD Mailroom 3C843, Washington, DC 

20301–1160. 

Instructions: All submissions received 

must include the agency name and 

docket number or Regulatory 

Information Number (RIN) for this 

Federal Register document. The general 

policy for comments and other 

submissions from members of the public 

is to make these submissions available 

for public viewing on the Internet at 

http://www.regulations.gov as they are 

received without change, including any 

personal identifiers or contact 

information. 

FOR FURTHER INFORMATION CONTACT: 

Linda B. Jones, (757) 229–3866. 

SUPPLEMENTARY INFORMATION: 

Executive Order 12866, ‘‘Regulatory 

Planning and Review’’ and Executive 

Order 13563, ‘‘Improving Regulation 

and Regulatory Review’’ 

It has been certified that 32 CFR part 

223 does not: 

(1) Have an annual effect on the 

economy of $100 million or more or 

adversely affect in a material way the 

economy; a section of the economy; 

productivity; competition; jobs; the 

environment; public health or safety; or 

State, local, or tribunal governments or 

communities; 

(2) Create a serious inconsistency or 

otherwise interfere with an action taken 

or planned by another Agency; 

(3) Materially alter the budgetary 

impact of entitlements, grants, user fees, 

or loan programs, or the rights and 

obligations of recipients thereof; or 

(4) Raise novel legal or policy issues 

arising out of legal mandates, the 

President’s priorities, or the principles 

set forth in these Executive Orders. 

Section 202, Public Law 104–4, 

‘‘Unfunded Mandates Reform Act’’ 

It has been certified that 32 CFR part 

223 does not contain a Federal mandate 

that may result in the expenditure by 

State, local and tribunal governments, in 

aggregate, or by the private sector, of 

$100 million or more in any one year. 

Public Law 96–354, ‘‘Regulatory 

Flexibility Act’’ (5 U.S.C. 601) 

It has been certified that 32 CFR part 

223 is not subject to the Regulatory 

Flexibility Act (5 U.S.C. 601) because it 

would not, if promulgated, have a 

significant economic impact on a 

substantial number of small entities. 

Public Law 96–511, ‘‘Paperwork 

Reduction Act’’ (44 U.S.C. Chapter 35) 

It has been certified that 32 CFR part 

223 does not impose reporting or 

recordkeeping requirements under the 

Paperwork Reduction Act of 1995. 

Executive Order 13132, ‘‘Federalism’’ 

It has been certified that 32 CFR part 

223 does not have federalism 

implications, as set forth in Executive 

Order 13132. This rule does not have 

substantial direct effects on: 

(1) The States; 

(2) The relationship between the 

National Government and the States; or 

(3) The distribution of power and 

responsibilities among the various 

levels of Government. 

List of Subjects in 32 CFR Part 223 

National defense, Nuclear energy, 

Reporting and recordkeeping 

requirements, Security measures. 

Accordingly, 32 CFR part 223 is 

proposed to be revised as follows. 

PART 223—DOD UNCLASSIFIED 

CONTROLLED NUCLEAR 

INFORMATION (UCNI) 

Sec. 

223.1 Purpose. 

223.2 Applicability. 

223.3 Definitions. 

223.4 Policy. 

223.5 Responsibilities. 

223.6 Procedures-identifying and 

controlling DoD UCNI. 

223.7 Procedures-determination of DoD 

UCNI. 

Authority: 10 U.S.C. 128 and 5 U.S.C. 

552(b)(3). 

§ 223.1 Purpose. 

This part: 

(a) Assigns responsibilities and 

prescribes procedures for the 

implementation of policy in title 10, 

United States Code (U.S.C.) 128, which 

is the statutory basis for controlling 

unclassified information on the physical 

protection of DoD special nuclear 

material (SNM), SNM equipment, and 

SNM facilities. Such information is 

referred to as DoD UCNI, to distinguish 

it from a similar Department of Energy 

(DOE) program. 

(b) Identifies the authority to be used 

for denying disclosure of DoD UCNI 

under title 5 U.S.C. 552. 

(c) Supplements security 

classification guidance contained in 

DoD Instruction 5210.67,1 DOE 

classification guide CG–SS–4 2 and 

DoD/DOE joint classification guides by 

establishing procedures for identifying, 

controlling, and limiting the 

dissemination of unclassified 

information on the physical protection 

of DoD SNM. 

§ 223.2 Applicability. 

This part applies to: 

(a) Office of the Seceretary of Defense, 

the Military Departments, the Office of 

the Chairman of the Joint Chiefs of Staff 

and the Joint Staff, the Combatant 

Commands, the Office of the Inspector 

General of the Department of Defense, 

the Defense Agencies, the DoD Field 

Activities, and all other organizational 

entities within the Department of 

Defense (hereafter referred to 

collectively as the ‘‘DoD Components’’). 

(b) All SNM, regardless of form, 

whether in reactor cores or other items 

(including nuclear weapons) under the 

direct control of the DoD Components. 

(c) Nuclear weapons containing SNM 

that are in DoD custody (hereafter 

referred to as ‘‘nuclear weapons in DoD 

custody’’). 

(d) Contractors, consultants, and 

grantees of the Department of Defense. 

§ 223.3 Definitions. 

These terms and their definitions are 

for the purposes of this part: 

(a) Atomic Energy Defense Programs. 

Activities, equipment, and facilities of 

the Department of Defense that are 

capable of the following: 

(1) Development, production, testing, 

sampling, maintenance, repair, 

modification, assembly, utilization, 

transportation, or retirement of nuclear 

weapons or nuclear weapon 

components. 

(2) Production, utilization, or 

transportation of DoD SNM for military 

applications. 

(3) Safeguarding of activities, 

equipment, or facilities that support the 

functions in paragraphs (a)(1) and (a)(2) 

of this section, including the protection 


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3Available on the Internet at http://www.dtic.mil/ 

whs/directives/corres/pdf/520001r.pdf. 

of nuclear weapons, nuclear weapon 

components, or DoD SNM for military 

applications at a fixed facility or in 

transit. 

(b) Document or material. The 

physical medium on or in which 

information is recorded, or a product or 

substance that contains or reveals 

information, regardless or its physical 

form or characteristics. 

(c) DoD UCNI. Unclassified 

information on the physical protection 

of DoD special nuclear material, 

equipment, and facilities. 

(d) Information. Any fact or concept, 

regardless of the physical form or 

characteristics of the medium on or in 

which it is recorded, contained, or 

revealed. 

(e) Reviewing official. An individual 

appointed by the Assistant Secretary of 

Defense for Nuclear, Chemical and 

Biological Defense Programs who may 

make a determination that a document 

or material contains, does not contain, 

or no longer contains DoD UCNI. 

(f) Safeguards. An integrated system 

of physical protection, material 

accounting, and material control 

measures designed to deter, prevent, 

detect, and respond to unauthorized 

possession, use, or sabotage of DoD 

SNM, SNM equipment or SNM 

facilities. 

(g) SNM. Defined in 42 U.S.C. 2014. 

(h) SNM equipment. Equipment, 

systems, or components whose failure 

or destruction would cause an impact 

on safeguarding DoD SNM resulting in 

an unacceptable interruption to a 

national security program or an 

unacceptable impact on the health and 

safety of the public. 

(i) SNM facility. A DoD facility that 

performs a function in support of 

Atomic Energy Defense Programs whose 

disruption could reasonably be expected 

to have a significant adverse effect on 

safeguarding DoD SNM, the health and 

safety of the public or the common 

defense and security. 

(j) Unauthorized dissemination. The 

intentional or negligent transfer, in any 

manner and by any person, of 

information contained in a document or 

material determined by a reviewing 

official to contain DoD UCNI, and so 

marked in accordance with the 

procedures in § 223.6 of this part, to any 

person or entity other than an 

individual or entity authorized access to 

DoD UCNI in accordance with title 10 

U.S.C. 128 and this part. 

§ 223.4 Policy. 

It is DoD policy that: 

(a) Unauthorized dissemination of 

unclassified information pertaining to 

security measures, including security 

plans, procedures, and equipment, for 

the physical protection of DoD SNM, 

equipment, or facilities is prohibited. 

(b) Unclassified information shall be 

protected as DoD UCNI based on a 

determination that the unauthorized 

dissemination of such information 

could reasonably be expected to have a 

significant adverse effect on the health 

and safety of the public or the common 

defense and security by significantly 

increasing the likelihood of the illegal 

production of nuclear weapons or the 

theft, diversion, or sabotage of DoD 

SNM, SNM equipment, or SNM 

facilities. 

(c) Information regarding physical 

protection of DoD SNM shall be made 

publicly available to the fullest extent 

possible by applying the minimum 

restrictions, consistent with the 

requirements of title 10 U.S.C. 128, 

necessary to protect the health and 

safety of the public or the common 

defense and security. 

(d) This part and part 1017 of title 10 

of the Code of Federal Regulations shall 

be used as guidance for handling DOE 

UCNI that is under DoD control. 

(e) This part does not prevent a 

determination that information 

previously determined to be DoD UCNI 

is classified information in accordance 

with DoD 5200.1–R3 and other 

applicable standards of classification. 

§ 223.5 Responsibilities. 

(a) The Under Secretary of Defense for 

Intelligence (USD(I)) shall oversee the 

DoD program for controlling DoD UCNI 

and coordinate DoD compliance with 

the DOE program for controlling DOE 

UCNI. 

(b) The Assistant Secretary of Defense 

for Nuclear, Chemical and Biological 

Defense Programs (ASD(NCB)), under 

the authority, direction, and control of 

the Under Secretary of Defense for 

Acquisition, Technology and Logistics, 

shall: 

(1) Identify information regarding 

nuclear weapons security and the 

protection of SNM at DoD nuclear 

reactor facilities as DoD UCNI and 

protect it from unauthorized 

dissemination, consistent with the 

requirements of title 10 U.S.C. 128 and 

this part. 

(2) Advise the USD(I) on 

implementation of the DoD UCNI 

program. 

(3) Designate a DoD UCNI reviewing 

official, who shall be authorized to 

determine that materials or documents 

contain, do not contain, or no longer 

contain DoD UCNI. 

(c) The Director, Administration and 

Management shall provide guidance, as 

needed, to the Heads of the DoD 

Components regarding title 5 U.S.C. 

552, as implemented by title 32, Code of 

Federal Regulations (CFR) 286, as it 

applies to the DoD UCNI program. 

(d) The Heads of the DoD Components 

shall identify DoD UCNI within their 

Component and protect it from 

unauthorized dissemination, consistent 

with the requirements of title 10 U.S.C. 

128 and this part. 

§ 223.6 Procedures—identifying and 

controlling DoD UCNI. 

(a) General. (1) The decision to protect 

unclassified information as DoD UCNI 

shall be based on a determination that 

the unauthorized dissemination of such 

information could reasonably be 

expected to have an adverse effect on 

the health and safety of the public or the 

common defense and security by 

increasing significantly the likelihood of 

the illegal production of nuclear 

weapons or the theft, diversion, or 

sabotage of DoD SNM, SNM equipment, 

SNM facilities or nuclear weapons in 

DoD custody. This is called the ‘‘adverse 

effects test.’’ 

(2) DoD UCNI shall be identified, 

controlled, marked, transmitted, and 

safeguarded in the DoD Components 

and the North Atlantic Treaty 

Organization (NATO), and among DoD 

contractors, consultants, and grantees. 

Within NATO, DoD UCNI shall be 

marked, controlled, and safeguarded as 

‘‘NATO RESTRICTED’’ information. 

(3) Contracts requiring access to or the 

preparation of unclassified information 

that is or could be DoD UCNI shall 

require compliance with this part and 

any applicable DoD Component 

regulations, and shall specify 

requirements for identifying, marking, 

handling and safeguarding DoD UCNI. 

(b) Identifying DoD UCNI. (1) To be 

designated and protected as DoD UCNI, 

information must: 

(i) Be unclassified. 

(ii) Pertain to security measures, 

including plans, procedures, and 

equipment, for the physical protection 

of DoD SNM, SNM equipment, SNM 

facilities, or nuclear weapons in DoD 

custody. 

(iii) Meet the adverse effects test. 

(2) Information about DoD SNM shall 

be protected as DoD UCNI if it falls 

within one or more of the categories 

listed in § 223.7(c) and meets the criteria 

in paragraph (b)(1) of this section. 

(3) DoD personnel, in making a 

determination to protect unclassified 

information as DoD UCNI, shall 

consider the probability of illegal 

production of nuclear weapons or of 


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theft, diversion, or sabotage of DoD 

SNM, SNM equipment, SNM facilities, 

or nuclear weapons in DoD custody if 

the information proposed for protection 

were made available for public 

disclosure and dissemination. The 

cognizant official shall consider how the 

unauthorized disclosure or 

dissemination of such information 

could assist a potential adversary in: 

(i) Selecting a target for an act of theft, 

diversion, or sabotage of nuclear 

weapons in DoD custody, DoD SNM, 

SNM equipment, or SNM facilities (e.g., 

relative importance of a facility or the 

location, form, and quantity of DoD 

SNM). Information that can be obtained 

by observation from public areas outside 

controlled locations should not be 

considered as DoD UCNI. 

(ii) Planning or committing an act of 

theft, diversion, or sabotage of nuclear 

weapons in DoD custody, DoD SNM, 

SNM equipment, or SNM facilities (e.g., 

design of security systems; building 

plans; methods and procedures for 

transfer, accountability, and handling of 

DoD SNM; or security plans, 

procedures, and capabilities). 

(iii) Measuring the success of an act 

of theft, diversion, or sabotage of 

nuclear weapons in DoD custody, DoD 

SNM, SNM equipment, or SNM 

facilities (e.g., actual or hypothetical 

consequences of the sabotage of specific 

vital equipment or facilities). 

(iv) Illegally producing a nuclear 

explosive device (e.g., unclassified 

nuclear weapon design information 

useful in designing a primitive nuclear 

device; location of unique DoD SNM 

needed to fabricate such a device; or 

location of a nuclear weapon). 

(v) Dispersing DoD SNM in the 

environment (e.g., location, form, and 

quantity of DoD SNM). 

(d) Where questions or disagreements 

arise on designation or continued 

protection of information as DoD UCNI, 

the reviewing official appointed by the 

ASD(NCB) shall make the final 

determination. If a determination cannot 

be made because applicable guidance is 

unclear or does not exist, the document 

or material in question shall be referred 

to the reviewing official for a 

determination. 

(c) Access to DoD UCNI. (1) No 

explicit designation or security 

clearance is required for access to DoD 

UCNI; however, a person granted access 

to DoD UCNI must have a need to know 

the specific DoD UCNI to which access 

is granted in the performance of official 

duties or of DoD-authorized activities. 

(2) The individual granting access to 

DoD UCNI shall notify each person 

granted such access of applicable 

regulations, including the physical 

protection and access requirements, 

concerning the protection of DoD UCNI 

as well as any special dissemination 

limitations that apply to the specific 

DoD UCNI to which access is being 

granted, prior to dissemination of the 

DoD UCNI to the person. 

(3) The requirement to notify persons 

granted access to DoD UCNI of 

applicable regulations concerning 

protection and dissemination of DoD 

UCNI may be met by attachment of an 

appropriate cover sheet to the front of 

each document or material containing 

DoD UCNI prior to its transmittal to the 

person granted access. 

(d) Marking DoD UCNI. (1) An 

unclassified document with DoD UCNI 

shall be marked ‘‘DoD UNCLASSIFIED 

CONTROLLED NUCLEAR 

INFORMATION’’ at the bottom on the 

outside of the front cover, if any; on the 

outside of the back cover, if any; on the 

first page; and on each individual page 

containing DoD UCNI. 

(2) Within an unclassified document, 

an individual page containing DoD 

UCNI shall be marked to show which of 

its portions contain DoD UCNI. In 

marking sections, parts, paragraphs, or 

similar portions, the parenthetical term 

‘‘(DoD UCNI)’’ shall be used and placed 

at the beginning of the applicable 

portions. 

(3) In a classified document, an 

individual page that has both DoD UCNI 

and classified information shall be 

marked at the top and bottom of the 

page with the highest security 

classification of information appearing 

on that page. In marking sections, parts, 

paragraphs, or similar portions, the 

parenthetical term ‘‘(DoD UCNI)’’ shall 

be used and placed at the beginning of 

those portions containing DoD UCNI. In 

a classified document, an individual 

page that has DoD UCNI, but no 

classified information, shall be marked 

‘‘UNCLASSIFIED//DoD UNCLASSIFIED 

CONTROLLED NUCLEAR 

INFORMATION’’ at the top and bottom 

of the page, unless the page is marked 

with the overall classification of the 

document. The DoD UCNI marking may 

be combined with other markings, if all 

relevant statutory and regulatory 

citations are included. DoD 5200.1–R 

provides additional guidance on 

marking classified documents. 

(4) Other material (e.g., electronic 

media, photographs, films, tapes, or 

slides) containing DoD UCNI shall be 

conspicuously marked ‘‘DOD 

UNCLASSIFIED CONTROLLED 

NUCLEAR INFORMATION,’’ in 

accordance with paragraphs (d)(1) 

through (d)(3) of this section, to ensure 

that a recipient or viewer is aware of the 

status of the information. 

(e) Dissemination and Transmission. 

(1) DoD UCNI may be disseminated 

among the DoD Components, NATO, 

and DoD contractors, consultants, and 

grantees on a need-to-know basis for the 

conduct of official business for the 

Department of Defense. Dissemination 

to NATO or other foreign or 

international entities requires prior 

review and approval by the appropriate 

dissemination entity. 

(2) Recipients shall be made aware of 

the status as DoD UCNI for all such 

information disseminated to them. 

Transmission of DoD UCNI shall be by 

means which preclude unauthorized 

disclosure or dissemination (e.g., secure 

phone, encrypted e-mail). 

(3) Documents containing DoD UCNI 

shall be marked as prescribed in 

paragraph (d) of this section. 

Transmittal documents shall call 

attention to the presence of DoD UCNI 

attachments using an appropriate 

statement in the text or including at the 

bottom of the transmittal document a 

statement similar to: ‘‘The attached 

document contains DoD Unclassified 

Controlled Nuclear Information (DoD 

UCNI).’’ 

(4) DoD UCNI transmitted outside the 

Department of Defense requires 

application of an expanded marking to 

explain the significance of the DoD 

UCNI marking. That may be 

accomplished by adding the transmittal 

statement ‘‘DEPARTMENT OF 

DEFENSE/UNCLASSIFIED 

CONTROLLED NUCLEAR 

INFORMATION/EXEMPT FROM 

MANDATORY DISCLOSURE UNDER 

U.S.C. 552(b)(3), AS AUTHORIZED BY 

10 U.S.C. 128’’ to the document cover 

before transfer. 

(5) When not commingled with 

classified information, DoD UCNI may 

be sent by first-class mail in a single, 

opaque envelope or wrapping. 

(6) DoD UCNI shall not be discussed 

or transmitted over an unprotected 

telephone or telecommunications circuit 

(to include facsimile transmissions) 

except in case of an emergency. 

(7) Each part of electronically 

transmitted messages containing DoD 

UCNI shall be marked appropriately. 

Unclassified messages, including e-mail, 

with DoD UCNI shall have the 

abbreviation ‘‘DoD UCNI’’ at the top of 

the message, before the beginning of the 

text, and the parenthetical marking 

‘‘(DoD UCNI)’’ preceding each portion of 

text containing DoD UCNI information. 

(8) DoD UCNI processed, stored, or 

produced on stand-alone or networked 

computer or other information 

technology systems shall enforce 

protection from unauthorized disclosure 

or dissemination, in accordance with 


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the procedures in paragraph (f) of this 

section. 

(9) A document marked as having 

DoD UCNI may be reproduced 

minimally without permission of the 

originator and consistent with the need 

to carry out official business. 

(f) Safeguarding DoD UCNI. (1) 

During normal working hours, 

documents determined to contain DoD 

UCNI shall be safeguarded and 

controlled by measures designed to 

reduce the risk of access to DoD UCNI 

by unauthorized individuals. Particular 

attention should be paid to areas where 

DoD UCNI is used or stored if 

unescorted access by unauthorized 

individuals is possible. 

(2) At the close of business, DoD 

UCNI material shall be stored so to 

preclude disclosure. Storage of such 

material with other unclassified 

documents in unlocked receptacles (e.g., 

desks, bookcases) is adequate if 

Government or Government-contractor 

internal building security is provided 

during non-duty hours. When such 

internal building security is not 

provided, locked rooms or buildings 

normally provide adequate after-hours 

protection. If such protection is not 

considered adequate, DoD UCNI 

material shall be stored in locked 

receptacles (e.g., locked file cabinet, 

locked desk drawer, safe). 

(3) Non-record copies of DoD UCNI 

materials shall be destroyed by 

shredding or burning or, if the 

sensitivity or volume of the information 

justifies it, in accordance with the 

procedures specified by DoD 5200.1–R 

for classified material. Record copies of 

DoD UCNI documents shall be disposed 

of in accordance with the DoD 

Component’s record management 

regulations. DoD UCNI on magnetic 

storage media shall be disposed of by 

overwriting to preclude its 

reconstruction. DoD UCNI in electronic 

form shall be deleted and also removed 

from any desktop trash or recycling 

files. 

(4) Unauthorized disclosure of DoD 

UCNI justifies investigative and 

administrative actions to determine 

cause, assess impact, and fix 

responsibility. The DoD Component that 

originated the DoD UCNI information 

shall be informed of its unauthorized 

disclosure and the outcome of the 

investigative and administrative actions. 

Unauthorized disclosure of DoD UCNI 

material does not constitute a 

compromise of classified information. 

(g) Retirement of Document or 

Material. (1) Any unclassified document 

or material that is not marked as 

containing DoD UCNI but that may 

contain DoD UCNI shall be marked 

upon retirement in accordance with the 

DoD Component’s record management 

regulations. 

(2) A document or material marked as 

containing DoD UCNI is not required to 

be reviewed upon or subsequent to 

retirement. Retired documents or 

materials shall be reviewed in 

accordance with paragraph (h) of this 

section upon a request for their release 

made pursuant to 5 U.S.C. 552. 

(h) Requests for Public Release of 

UCNI. (1) Pursuant to 10 U.S.C. 128, 

information that qualifies as DoD UCNI 

is exempt from mandatory disclosure 

pursuant to title 5 U.S.C. 552. Requests 

for the public release of DoD UCNI shall 

be denied, in accordance with 

procedures established in title 32 CFR 

part 286, pursuant to title 5 U.S.C. 

552(b)(3), citing title10 U.S.C. 128 as 

authority. 

(2) Requests for DOE UCNI shall also 

be denied pursuant to title 5 U.S.C. 

552(b)(3), but title 42 U.S.C. 2168 shall 

be cited, with the concurrence of the 

DOE, as the basis for invoking the 

exemption. 

(3) The reviewing official designated 

by the ASD(NCB) shall review any 

retired DoD UCNI document or material 

upon a request for its release made 

pursuant to title 5 U.S.C. 552. 

§ 223.7 Procedures-determination of DoD 

UCNI. 

(a) Use of the Guidelines. (1) The 

guidelines in this section are the basis 

for determining what unclassified 

information regarding the physical 

protection of DoD SNM, SNM 

equipment, SNM facilities, or nuclear 

weapons in DoD custody in a given 

technical or programmatic subject area 

are to be designated as DoD UCNI. 

(2) The decision to protect 

unclassified information as DoD UCNI 

shall be based on a determination that 

the unauthorized dissemination of such 

information could reasonably be 

expected to have an adverse effect on 

the health and safety of the public or the 

common defense and security by 

significantly increasing the likelihood of 

the illegal production of nuclear 

weapons or the theft, diversion, or 

sabotage of SNM, SNM equipment, SNM 

facilities, or nuclear weapons in DoD 

custody. 

(b) General Guidance. (1) Unclassified 

information relating to the physical 

protection of DoD SNM, SNM 

equipment, SNM facilities, or nuclear 

weapons in DoD custody is to be 

protected from public disclosure to 

prevent the adverse effects identified in 

paragraph (a)(1) of this section. Public 

availability of information that would 

not result in such adverse effects is not 

to be restricted. 

(2) In controlling DoD SNM 

information, only the minimum 

restrictions needed to protect the health 

and safety of the public or the common 

defense and security shall be applied to 

prohibit the disclosure and 

dissemination of DoD UCNI. 

(3) Any material that has been, or is, 

widely and irretrievably disseminated 

in the public domain and whose 

dissemination was not, or is not, under 

Government control is exempt from 

control under these guidelines. 

However, the fact that information is in 

the public domain is not a sufficient 

basis for determining that similar or 

updated Government-owned and 

-controlled information in another 

document or other material is not, or is 

no longer, DoD UCNI; case-by-case 

determinations are required. 

(c) Topical Guidance. DoD 

Components shall consider the elements 

of information discussed in this section 

during the preparation of unclassified 

information that addresses the physical 

protection of DoD SNM or nuclear 

weapons in DoD custody to determine if 

it qualifies for control as DoD UCNI. 

(1) Vulnerability Assessments. (i) 

General vulnerabilities that could be 

associated with specific DoD SNM, 

SNM equipment, SNM facility locations, 

or DoD nuclear weapons storage 

facilities. 

(ii) The fact that DoD SNM or nuclear 

weapons facility security-related 

projects or upgrades are planned or in 

progress, if not observable from a public 

area. 

(iii) Identification and description of 

security system components intended to 

mitigate the consequences of an 

accident or act of sabotage at a DoD 

SNM or nuclear weapons facility. 

(2) Material Control and 

Accountability. (i) Total quantity or 

categories of DoD SNM at a facility. 

(ii) Control and accountability plans 

or procedures. 

(iii) Receipts that, cumulatively, 

would reveal quantities and categories 

of DoD SNM of potential interest to an 

adversary. 

(iv) Measured discards, decay losses, 

or losses due to fission and 

transmutation for a reporting period. 

(v) Frequency and schedule of DoD 

SNM inventories. 

(3) Facility Description. (i) Maps, 

conceptual design, and construction 

drawings of a DoD SNM or nuclear 

weapons facility showing construction 

characteristics of building(s) and 

associated electrical systems, barriers, 

and back-up power systems not 

observable from a public area. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS
22854 Federal Register / Vol. 76, No. 79 / Monday, April 25, 2011 / Proposed Rules 

(ii) Maps, plans, photographs, or 

drawings of man-made or natural 

features in a DoD SNM facility or 

nuclear weapons not observable from a 

public area; i.e., tunnels, storm or waste 

sewers, water intake and discharge 

conduits, or other features having the 

potential for concealing surreptitious 

movement. 

(iii) Communications and computer 

network configurations and capabilities. 

(4) Intrusion Detection and Security 

Alarm Systems. (i) Information on the 

layout or design of security and alarm 

systems at a specific DoD SNM or 

nuclear weapons facility, if the 

information is not observable from a 

public area. 

(ii) The fact that a particular system 

make or model has been installed at a 

specific DoD SNM or nuclear weapons 

facility, if the information is not 

observable from a public area. 

(iii) Performance characteristics of 

installed systems. 

(5) Keys, Locks, Combinations, and 

Tamper-Indicating Devices. (i) Types 

and models of keys, locks, and 

combinations of locks used in DoD SNM 

or nuclear weapons facilities and during 

shipment. 

(ii) Method of application of tamperindicating devices. 

(iii) Vulnerability information 

available from unclassified vendor 

specifications. 

(6) Threat Response Capability and 

Procedures. (i) Information about 

arrangements with local, State, and 

Federal law enforcement agencies of 

potential interest to an adversary. 

(ii) Information in ‘‘non-hostile’’ 

contingency plans of potential value to 

an adversary to defeat a security 

measure, e.g., fire, safety, nuclear 

accident, radiological release, or other 

administrative plans. 

(iii) Required response time of 

security forces. 

(7) Physical Security Evaluations. (i) 

Method of evaluating physical security 

measures not observable from public 

areas. 

(ii) Procedures for inspecting and 

testing communications and security 

systems. 

(8) In-Transit Security. (i) Fact that a 

shipment is going to take place. 

(ii) Specific means of protecting 

shipments. 

(iii) Number and size of packages. 

(iv) Mobile operating and 

communications procedures that an 

adversary could exploit. 

(v) Information on mode, routing, 

protection, communications, and 

operations that must be shared with law 

enforcement or other civil agencies, but 

not visible to the public. 

(vi) Description and specifications of 

transport vehicle compartments or 

security systems not visible to the 

public. 

(9) Information on Nuclear Weapon 

Stockpile and Storage Requirements, 

Nuclear Weapon Destruction and 

Disablement Systems, and Nuclear 

Weapon Physical Characteristics. Refer 

to DOE CG–SS–4 for guidance about the 

physical protection of information on 

nuclear weapon stockpile and storage 

requirements, nuclear weapon 

destruction and disablement systems, 

and nuclear weapon physical 

characteristics that may, under certain 

circumstances, be unclassified. Such 

information meeting the adverse effects 

test shall be protected as DoD UCNI. 

Dated: March 25, 2011. 

Patricia L. Toppings, 

OSD Federal Register Liaison Officer, 

Department of Defense. 

[FR Doc. 2011–9751 Filed 4–22–11; 8:45 am] 

BILLING CODE 5001–06–P 

DEPARTMENT OF COMMERCE 

Patent and Trademark Office 

37 CFR Chapter I 

[Docket No.: PTO–P–2011–0018] 

Streamlined Patent Reexamination 

Proceedings; Notice of Public Meeting 

AGENCY: United States Patent and 

Trademark Office, Commerce. 

ACTION: Notice of public meeting; 

request for comments. 

SUMMARY: This document announces a 

public meeting to solicit public 

opinions on a number of changes being 

considered by the United States Patent 

and Trademark Office (USPTO) to 

streamline the procedures governing ex 

parte and inter partes reexamination 

proceedings. These changes are 

intended to achieve faster, more 

efficient resolution of the substantial 

new question of patentability (SNQ) for 

which reexamination is ordered. The 

proposed changes in this document are 

divided into three categories: changes to 

both ex parte and inter partes 

reexaminations, changes specific to ex 

parte reexamination, and changes 

specific to inter partes reexamination. 

After soliciting public opinions 

regarding this document, the USPTO 

may seek to adopt one or more of the 

proposed changes or a modified version 

thereof, or other changes suggested by 

the public, through a rule making or 

through internal operational changes as 

appropriate. 

DATES: The public meeting will be held 

on June 1, 2011, beginning at 1:30 p.m. 

Persons interested in attending the 

meeting must register by 5 p.m., Eastern 

Standard Time (EST), on May 25, 2011. 

Written comments must be submitted 

by June 29, 2011. 

ADDRESSES: The public meeting will be 

held at the USPTO, in the South 

Auditorium of Madison West, 600 

Dulany Street, Alexandria, VA 22314. 

Written comments should be sent by 

electronic mail message over the 

Internet addressed to reexam

improvementcomments@uspto.gov. 

Comments may also be submitted by 

mail addressed to: Mail Stop CommentsPatents, Commissioner for Patents, P.O. 

Box 1450, Alexandria, VA 22313–1450, 

marked to the attention of Kenneth M. 

Schor. Although comments may be 

submitted by mail, submission via email to the above address is preferable. 

The written comments will be 

available for public inspection at the 

Office of the Commissioner for Patents, 

located in Madison East, Tenth Floor, 

600 Dulany Street, Alexandria, Virginia, 

and will be available via the USPTO 

Internet Web site (address: http:// 

www.uspto.gov). Because comments will 

be made available for public inspection, 

information that is not desired to be 

made public, such as an address or 

phone number, should not be included. 

For Registration to Give a 

Presentation at the Meeting: If you wish 

to make an oral presentation at the 

meeting, you must register by sending 

an e-mail to reexamimprovement

comments@uspto.gov, by 5 p.m. EST, on 

May 11, 2011. See the registration 

information provided below. 

FOR FURTHER INFORMATION CONTACT: 

Kenneth M. Schor, Office of Patent 

Legal Administration, Office of the 

Associate Commissioner for Patent 

Examination Policy, by telephone at 

571–272–7710, or by mail addressed to: 

Mail Stop Comments-Patents, 

Commissioner for Patents, P.O. Box 

1450, Alexandria, VA 22313–1450. 

Inquiries regarding the current 

reexamination practice may be directed 

to the Office of Patent Legal 

Administration, by telephone at (571) 

272–7703, or by electronic mail at 

PatentPractice@uspto.gov. 

SUPPLEMENTARY INFORMATION: This 

document announces a public meeting 

to solicit public opinions on a number 

of changes being considered by the 

USPTO to streamline the procedures 

governing ex parte and inter partes 

reexamination proceedings. These 

changes are intended to achieve faster, 

more efficient resolution of the SNQ for 

which reexamination is ordered. 


emcdonald on DSK2BSOYB1PROD with PROPOSALS